SEC Form 4 · accession 0000899243-18-024001
Hortonworks, Inc. · HDP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert G Bearden
Officer — President & CEO · Director
Period of report
Sep 5, 2018
Accepted (ET)
Sep 7, 2018 · 4:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001610532
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Sep 5, 2018 | S | 54,600 | $20.37 | D | 436,052 | I | The Robert Gene Bearden, Jr. Family Trust |
| Common StockF3 | Sep 6, 2018 | S | 54,600 | $21.32 | D | 381,452 | I | The Robert Gene Bearden, Jr. Family Trust |
| Common Stock | holding | — | — | — | 1,191,184 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by The Robert Gene Bearden, Jr. Family Trust.
- F2Represents the weighted average sale price for the entire number of shares sold. The sale prices range from $19.80 to $21.61 per share. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person of each separate price within the range.
- F3Represents the weighted average sale price for the entire number of shares sold. The sale prices range from to $20.94 to $22.09 per share. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person of each separate price within the range.